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Going independent
A $4B advisor goes indie after 37 years at wirehouses
Phil Shaffer says changes in the business necessitated a career change if he was to maintain an edge in serving clients.
LPL loses hybrid RIA to Triad
The nation’s largest independent broker-dealer has had a net loss of 121 advisors this year, mostly to three major OSJs.
In UBS-RIA spat, a warning for advisors switching firms
A judge issued a ruling after intensely scrutinizing advisors' emails and text messages to clients.
Merrill Lynch loses $250M team to Dynasty
The firm continues a recruiting streak that has netted teams managing over $10.5 billion in assets this year alone.
Hardest thing RIA founders do? Name their practice
Tradition, trust and Google all factor into the choice.
Judge tosses restraining order against UBS breakaways
The Swiss wirehouse hit the founding partners of an $8 billion firm with a lawsuit.
Voices
How changes to the fiduciary rule could prompt adviser movement
Mark Elzweig
President
Mark Elzweig Co.
The Labor Department has indicated that further revisions to the regulation could be forthcoming.
Where the recruiting momentum is shifting now
This year has seen more moves, bigger moves and more expensive moves.
In latest Wells Fargo exodus, $351M team goes indie with LPL
The four advisers joined the more than 500 lost by the wirehouse in the last nine months.
Voices
The real reasons advisers are going indie
Barry Ritholtz
Founder
Ritholtz Wealth Management
What used to be a complex and expensive barrier to entry for independent RIAs has now become much simpler and cheaper.
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